Teaching kids about financial concepts and prudent decision-making can help them become financially proficient adults and deserves a spot alongside early learning basics. Learn four tips to help build their foundation for financial fluency.
(a) Definitions. For purposes of these Rules, the following definitions shall apply:
(1) The terms "automated quotation," "National Market System Plan" (NMS Plan), "intermarket sweep order," "manual quotation," "NMS stock," "protected quotation," and "trading center" shall have the meanings set forth in Rule 600(b) of SEC
October 1999
Contingency Planning Activities
Although most businesses have worked, and are continuing to work, diligently to ensure that their Year 2000-related issues will be resolved in time, everyone must anticipate that some things may be overlooked, ignored, or not completed on or before December 31, 1999. In addition, businesses should consider events beyond their control that could
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 (formerly Schedule C, Part XII of the National Association of Securities Dealers, Inc., By-Laws) of the NASD® Membership and Registration Rules, which prescribes requirements for
SUGGESTED ROUTING
Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining
Executive Summary
The NASD® has created a Member Buying Services department and consolidated responsibility for the operation of its existing sponsored programs under the
I run a systematic investment plan where leveraged ETFs are the key component. These funds are extremely important to my investment plan and have provided me with improved performance over the long term compared to standard market measures. I fully understand the leveraged effect the funds and use it in a responsible manner to my advantage. I do not want or need a third party evaluating my
Effective liquidity management is a critical control function at broker-dealers and across firms in the financial sector. Failure to manage liquidity has contributed to both individual firm failures and, when widespread, systemic crises.
In adverse circumstances, whether the result of firm-specific events or systemic credit events, the cost of funding a broker-dealer’s operations could become
Rubyna Haslani Zito is a Senior Vice President of Technology Operations and Services and the Chief of Staff to the CIO at FINRA (Financial Industry Regulatory Authority). She manages Technology Operations and Services that include Technology Compliance Office, Training, Communications, Reporting, Space planning and redesign, as well as financial planning and budgeting. Her responsibilities as
Q1. My firm has been granted an exemption from both the recording and reporting requirements of the OATS Rules and does not currently have an obligation to report to OATS. Does my firm’s OATS exemption extend to the Consolidated Audit Trail (“CAT”) recording and reporting requirements?
A1. No. Neither SEC Rule 613 nor the CAT NMS Plan provide exemptive relief to any class of broker-dealers. As
To whom it may concern at the Financial Industry Regulation Authority,
I am aware that you are planning to ban the ability of some citizens of this country to be able to invest in complex investment funds such as leveraged and inverse investments. I believe that I should be who decides how I invest my money and not a government agency who does not know me or how or why I invest in these funds. As
